State v. Kim Finklea
Case Date: 12/30/1996
Docket No: SYLLABUS
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(This syllabus is not part of the opinion of the Court. It has been prepared by the Office of the Clerk for
the convenience of the reader. It has been neither reviewed nor approved by the Supreme Court. Please
note that, in the interests of brevity, portions of any opinion may not have been summarized).
Argued October 8, 1996 -- Decided December 30, 1996
COLEMAN, J., writing for a unanimous Court.
Kim Finklea was indicted by an Essex County grand jury on September 29, 1993, for second-degree
robbery. When Finklea rejected a plea offer at a pre-trial conference on December 6, 1993, the trial court
notified Finklea and his attorney that the trial would begin on January 10, 1994. The court also told Finklea that
if he failed to appear for the trial, the case would proceed without him.
On January 10, 1994, Finklea failed to appear. The trial court adjourned the case until January 24, 1994,
to give defense counsel the opportunity to locate Finklea. When Finklea failed to appear on January 24, defense
counsel argued that the trial should not proceed because Finklea had not received actual notice of the
rescheduled trial date. The trial court rejected counsel's argument, but adjourned the case for one more day.
When Finklea failed to appear on January 25, 1994, the trial proceeded without him.
The jury convicted Finklea of second-degree robbery. Finklea's bail was vacated and a bench warrant
for his arrest issued. Finklea was arrested pursuant to the warrant and was produced for sentencing. He
received an eighteen-year sentence with a nine-year parole ineligibility term.
Finklea appealed. The Appellate Division reversed, holding that it was error for the trial court to go
forward on the rescheduled trial date without evidence that Finklea had actual notice of that date. In addition,
the Appellate Division held that the trial judge should have issued a bench warrant instead of trying the absent
Finklea.
The Supreme Court granted the State's petition for certification.
HELD: A defendant's failure to appear on the original trial date, after being notified of that date and the
consequences of his absence, constituted a waiver of his right to appear at the trial. The adjournment of the trial
at the request of defense counsel does not vitiate a defendant's knowing and voluntary waiver of his right to be
present at the trial.
1. A defendant's constitutional right to be present at all stages of a criminal trial does not preclude a trial from
proceeding in the defendant's absence. The Rules of Court provide that a defendant may waive his or her right
to be present at the trial by "conduct evidencing a knowing, voluntary, and unjustified absence" after the
defendant has received "actual notice in court of the trial date." (pp. 5-9)
2. Defendant argues that the trial court should have been required to give him actual notice of the revised trial
date. Such a requirement would vest in a defendant the power to prevent the trial from proceedings until the
defendant is willing to appear. Neither constitutional law nor the Court's Rules require such extreme measures.
Further, to adopt defendant's argument would be to punish the trial court for being considerate enough to grant
defendant's two adjournment requests. (pp. 9-11)
3. The trial court was not obliged to conduct a hearing before determining that defendant's absence constituted
a waiver of his right to appear at his trial. (p. 12)
4. The trial court was not required to issue a bench warrant rather than proceed with the trial in defendant's
absence. Although that is an available option, mandating such a procedure would be impractical because it
would magnify the overcrowding problems in county correctional facilities. (p. 13)
5. The federal court practice in this area is governed by rule language that is different from Rule 3:16. In the
absence of any constitutional mandate limiting trials with absent defendants to cases in which a defendant is
present when the trial begins, Rule 3:16 controls. (pp. 13-14)
The judgment of the Appellate Division is REVERSED.
CHIEF JUSTICE PORITZ and JUSTICES HANDLER, POLLOCK, O'HERN, GARIBALDI, and
STEIN join in JUSTICE COLEMAN's opinion.
SUPREME COURT OF NEW JERSEY
STATE OF NEW JERSEY,
Plaintiff-Appellant,
v.
KIM FINKLEA, a/k/a
Defendant-Respondent.
Argued October 8, 1996 -- Decided December 30, 1996
On certification to the Superior Court,
Appellate Division.
Teresa A. Blair, Deputy Attorney General,
argued the cause for appellant (Peter G.
Verniero, Attorney General of New Jersey,
attorney).
Cecelia Urban, Assistant Deputy Public
Defender, argued the cause for respondent
(Susan L. Reisner, Public Defender,
attorney).
The opinion of the Court was delivered by
The trial court notified defendant of his original trial
date. When defendant failed to appear on the original trial date
and on two rescheduled trial dates, the trial proceeded in
absentia and a jury convicted defendant of second-degree robbery.
The Appellate Division reversed in an unpublished opinion,
finding that it was error to proceed in absentia because
defendant did not have actual notice of the rescheduled trial
date. We granted certification,
144 N.J. 175 (1996), and now
reverse. We hold that once a defendant has been given actual
notice of a scheduled trial date, nonappearance on the scheduled
or adjourned trial date is deemed a waiver of the right to be
present during the trial absent a showing of justification by the
defendant.
Defendant was indicted by an Essex County grand jury on
September 29, 1993, for second-degree robbery, a violation of
N.J.S.A. 2C:15-1. The indictment alleged that defendant used
force to steal a gold necklace from the neck of Kena Loyal.
Defendant entered a not guilty plea to the indictment. When
defendant rejected a plea offer at a plea conference on December
6, 1993, the trial court notified him and his attorney that trial
would commence on January 10, 1994. The trial court informed
defendant, who was on bail pending trial, and his attorney that
if defendant failed to appear for the scheduled trial, the trial
would proceed in his absence.
On January 10, 1994, defendant failed to appear. The trial
court adjourned the case until January 24, 1994, to allow defense
counsel an opportunity to locate defendant for trial. Defendant
did not appear on January 24, 1994, either. Defense counsel
argued that the trial should not proceed in absentia because the
court had not given defendant actual notice of the rescheduled
trial date. The court rejected counsel's argument, but granted a
one-day continuance for counsel to produce defendant. Defendant
failed to appear on January 25, 1994, and the trial proceeded in
absentia.
The State argues that the Appellate Division misapplied Rule
3:16 by requiring the trial court to give defendant actual notice
of the rescheduled trial date after defendant knowingly and
voluntarily waived his right to be present on the original trial
date. The State maintains that this appeal is governed by State
v. Hudson,
119 N.J. 165 (1990). The State argues that the
adjournment of the trial at the request of defense counsel should
not vitiate defendant's knowing and voluntary waiver of his right
to be present at the trial, especially when the adjournment was
for defendant's benefit. Thus, the State argues, defendant's
failure to appear on the original trial date, after being
notified of the trial date and the consequences of his absence,
constituted a waiver of his right to appear at the trial.
Rule of Criminal Procedure 43 and Crosby, which prohibit a trial
in absentia of a defendant who absconds before the trial begins.
Id. at 256, 113 S. Ct. at 750, 122 L. Ed.
2d at 29.
The right to be present at trial is a matter of
constitutional imperative. Both the United States and the New
Jersey Constitutions guarantee criminal defendants the right to
be confronted with witnesses against them. U.S. Const. amend VI;
N.J. Const. art. I, ¶ 10. As part of that right, defendants are
guaranteed the right to be present in the courtroom at every
stage of the trial. Illinois v. Allen,
397 U.S. 337, 338,
90 S.
Ct. 1057, 1058,
25 L. Ed.2d 353, 356, reh'g denied,
398 U.S. 915,
90 S. Ct. 1684,
26 L. Ed.2d 80 (1970) (citing Lewis v.
United States,
146 U.S. 370,
13 S. Ct. 136,
36 L. Ed. 1011
(1892)); Hudson, supra, 119 N.J. at 171; State v. Smith,
29 N.J. 561, 578, cert. denied,
361 U.S. 861,
80 S. Ct. 120,
4 L. Ed.2d 103 (1959). The right to be present at trial is also significant
for Fourteenth Amendment purposes because the right is a
condition of due process to the extent that a defendant's absence
would hinder a fair and just hearing. Hudson, supra, 119 N.J. at
171 (citing Snyder v. Massachusetts,
291 U.S. 97, 107-08,
54 S.
Ct. 330, 333,
78 L. Ed. 674, 679 (1934)).
United States v. Peterson,
524 F.2d 167, 184 (4th Cir. 1975),
cert. denied,
424 U.S. 925,
96 S. Ct. 1136, 47 L. Ed.2d 334
(1976)). The right also enables a defendant to communicate with
counsel, and to participate in trial strategy, ibid. (citing
Illinois v. Allen, supra, 397 U.S. at 344, 90 S. Ct. at 1061, 25
L. Ed.
2d at 359), including cross-examination. Ibid. (citing
Douglas v. Alabama,
380 U.S. 415, 418,
85 S. Ct. 1074, 1076,
13 L. Ed.2d 934, 937 (1965)). In addition, the right to be present
allows defendants to participate in the trial itself. Ibid.
(citing Faretta v. California,
422 U.S. 806,
95 S. Ct. 2525,
45 L. Ed.2d 562 (1975)).
of sentence, except as otherwise provided by
this rule.
(b) Continued Presence Not Required. The
further progress of the trial to and
including the return of the verdict . . .
will not be prevented and the defendant will
be considered to have waived the right to be
present whenever a defendant, initially
present . . .
The defendant shall be present at the
arraignment, at the pretrial conference if
any, at every stage of the trial including
the impaneling of the jury and the return of
the verdict, and at the imposition of
sentence, except as otherwise provided by
these rules. In prosecutions for offenses
not punishable by death the defendant's
voluntary absence after the trial has been
commenced in his presence shall not prevent
continuing the trial to and including the
return of the verdict.
either a written or oral waiver or by conduct evincing what is in
effect such a waiver. At the same time, Rule 3:20-2 was amended
to require a new trial motion based on alleged non-waiver to be
made prior to sentencing, and Rule 3:21-4(b) was revised to
permit a sentence to be imposed in the absence of a defendant who
had filed a written waiver of his right to be present. In 1995,
that provision of the rule was revised again to incorporate a
cross reference to Rule 3:22-10 and to render the text gender
neutral.
(b) At trial or post-conviction proceedings.
The defendant shall be present at every stage
of the trial, including the impaneling of the
jury and the return of the verdict, and at
the imposition of sentence, unless otherwise
provided by Rule. Nothing in this Rule,
however, shall prevent a defendant from
waiving the right to be present at trial. A
waiver may be found either from (a) the
defendant's express written or oral waiver
placed on the record, or (b) the defendant's
conduct evidencing a knowing, voluntary, and
unjustified absence after (1) the defendant
has received actual notice in court of the
trial date, or (2) trial has commenced in
defendant's presence.
[R. 3:16.]
We agree with the State that Hudson and Rule 3:16 as amended
in 1992, are dispositive of this appeal. In Hudson, two
defendants were present in the courtroom on the morning of trial,
but prior to the impaneling of a jury, scheduled for later that
day, they left the courtroom. Hudson, supra, 119 N.J. at 168.
Because one of the defense attorneys was engaged in a different
case before another judge, the Hudson case was delayed until the
afternoon session. When the defendants failed to return to the
courtroom for the afternoon session, the trial court determined
that they had voluntarily absented themselves and ordered jury
selection to begin. Id. at 169. The trial proceeded in
absentia, and the defendants were convicted. Id. at 169-70.
This Court upheld the defendants' convictions because both
defendants knew the place and time of trial and their absence was
inexcusable. Id. at 183. (One defendant claimed that he was
"shaken up" and the other claimed a fear of incarceration.)
Sanchez,
482 N.E.2d 56, 60 (N.Y. 1985)). Such a distinction
would permit a defendant to stall a trial by simply failing to
appear before the beginning of trial. Ibid.
notification by defense counsel, a requirement that the trial
court must give notice of an adjourned date would vest in a
defendant the power to prevent the trial from proceeding until
the defendant is willing to appear. Neither constitutional law,
nor our rules of criminal procedure, require such extreme
measures. "We cannot allow crowded court calendars to be
disrupted by defendants who knowingly and voluntarily absent
themselves from trial . . . ." Hudson, supra, 119 N.J. at 183.
Because it was defendant's defiance of the judicial system that
delayed the first scheduled trial, a new notice would not likely
bring about a different result. Furthermore, to adopt
defendant's argument would punish the trial court for being
considerate enough of defendant to grant two adjournments when it
could have found a waiver under Rule 3:16 without granting a
single adjournment. Such a holding would also be
counterproductive for defendants because trial courts would
rarely grant adjournments when defendants are not in the
courtroom at the time of the request. Hence, we reject the
contention.See footnote 1
commence the next day, defense counsel did not at that time, or
at any time, attempt to persuade the court that counsel was aware
of facts that justified defendant's absence. Nor was a motion
for a new trial made based on a claim that the waiver was
unjustified.
recognized in Hudson that the decision whether to try a defendant
in absentia, or adjourn the case, was addressed to the trial
court's discretion. Hudson, supra, 119 N.J. at 183. As with
Hudson, we are satisfied that trial courts may consider other
options, such as issuing bench warrants, rather then trying a
defendant in absentia. We decline, however, to adopt a rule
mandating that a bench warrant for the arrest of a defendant be
issued rather than utilizing the waiver option when appropriate
under Rule 3:16. Furthermore, the bench warrant option is
impracticable because it would simply magnify the existing
problem of overcrowding in the county correctional facilities.
his trial in absentia was also prohibited by the Constitution."
Crosby, supra, 506 U.S. at 262, 113 S. Ct. at 753, 122 L. Ed.
2d
at 33 (emphasis added). The Court emphasized that its decision
did not rest on any constitutional consideration. Ibid. Absent
any constitutional mandate limiting trials in absentia to cases
in which a defendant is present when the trial commences, Rule
3:16 controls. We, therefore, reaffirm our holding in Hudson.
We hold that the trial court properly inferred from
defendant's absence from the courtroom on January 10, 1994, and
the two adjourned trial dates, that he had waived his right to be
present at the trial within the meaning of Rule 3:16(b).
CHIEF JUSTICE PORITZ and JUSTICES HANDLER, POLLOCK, O'HERN,
GARIBALDI, and STEIN join in JUSTICE COLEMAN's opinion.
NO. A-26 SEPTEMBER TERM 1996
STATE OF NEW JERSEY,
Plaintiff-Appellant,
v.
KIM FINKLEA, a/k/a
Defendant-Respondent.
DECIDED December 30, 1996
Footnote: 1Although not required by Rule 3:16, the better practice is to notify a defendant while he or she is in the courtroom that the waiver provisions of the Rule apply to the date fixed for trial and all adjourned trial dates.
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